Proceeding Number 2007008358101

Hearing Panel Decision in Department of Enforcement v. Vincent P. McCrudden

October 15, 2009

For making abusive, intimidating, and threatening communications to his former employer, in violation of Conduct Rule 2110, Respondent is suspended for 30 business days and fined $10,000. For inducing the filing of a misleading and inaccurate Form U5 by his former firm, in violation of Conduct Rule 2110, Respondent is suspended for an additional five business days and fined an additional $2,500. The Hearing Officer dissented as to sanctions, finding that a longer suspension was warranted.

 

This decision has been appealed.